The following information is available on FINRA's Website under “Disciplinary and Other FINRA Actions, April, 2014.” Gregg N. Nussbaum (CRD #2020751, Registered Representative, Deerfield, Florida) has been barred by FINRA. Allegedly, according to the FINRA report, Nussbaum intentionally exceeded his trading authority. FINRA's findings stated that his firm authorized Nussbaum could only simultaneously open and […]

Dawson James Securities, Inc. (CRD® #130645, Boca Raton, Florida), Albert James Poliak (CRD #1270681, Registered Principal, Parkland, Florida), and Douglas Fulton Kaiser (CRD #1674570, Registered Principal, Deerfield Beach, Florida)   submitted Offers of Settlement in which the firm was censured and fined $90,000. Poliak, Dawson’s CEO, and Kaiser, who acted at times as both the […]